David T. Rix

MORNINGSTAR INVESTMENT MANAGEMENT LLC

Centerville, UT

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CRD#: 2293790

Professional summary

David Trevor Rix, who also goes by David Rix, is a registered financial advisor currently at MORNINGSTAR INVESTMENT MANAGEMENT LLC located in Centerville, Utah.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. David has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Rix

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: SNOWBIRD POSITION: PUBLIC SAFETY OFFICER START DATE: 11/4/2017 ADDRESS: 929000 Snowbird UT DETAILS: SKI RESORT. DUTIES INCLUDE PATROLLING PROPERTY, MAKING SURE PUBLIC IS SAFE, RESPONDING TO CALLOUTS FOR MEDICAL ISSUES. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 16, WEEKEND WORK ONLY HOURS DURING TRADING: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Trevor Rix's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 24, 2023 - Present

MORNINGSTAR INVESTMENT MANAGEMENT LLC

RIA

CRD#: 108031

Centerville, UT

Past

January 24, 2023 - June 16, 2025

MORNINGSTAR INVESTMENT SERVICES LLC

CRD#: 112525

CHICAGO, IL

Past

April 16, 2020 - October 26, 2022

CAPTRUST

RIA

CRD#: 175112

Salt Lake City, UT

Past

April 15, 2020 - October 26, 2022

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

Salt Lake City, UT

Past

June 19, 2019 - September 10, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SALT LAKE CITY, UT

Past

June 19, 2019 - September 10, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

SALT LAKE CITY, UT

Past

April 27, 2017 - October 13, 2017

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

SALT LAKE CITY, UT

Past

April 27, 2017 - October 13, 2017

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

SALT LAKE CITY, UT

Past

January 14, 2014 - December 31, 2016

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

NORTH SALT LAKE, UT

Past

January 23, 2013 - December 31, 2016

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

NORTH SALT LAKE, UT

Past

November 5, 2012 - January 11, 2013

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

September 26, 2012 - January 8, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

July 29, 2009 - May 9, 2012

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

May 13, 2009 - June 16, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Past

February 20, 2007 - February 2, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

September 8, 2005 - January 29, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SALT LAKE CITY, UT

Past

April 15, 1993 - September 19, 2005

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

January 8, 1993 - February 25, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORNINGSTAR INVESTMENT MANAGEMENT LLC

IBBOTSON ASSOCIATES, INC. | MORNINGSTAR INVESTMENT MANAGEMENT LLC | MORNINGSTAR ASSOCIATES, LLC

CRD#: 108031 / SEC#: 801-56896

RIA

Registered Investment Advisory firm - (10/18/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(1/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/30/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/6/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MORNINGSTAR INVESTMENT MANAGEMENT LLC

IBBOTSON ASSOCIATES, INC. | MORNINGSTAR INVESTMENT MANAGEMENT LLC | MORNINGSTAR ASSOCIATES, LLC

CRD#: 108031 / SEC#: 801-56896

RIA

Registered Investment Advisory firm - (10/18/1999 Approved)

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Contact information

Main Address

22 West Washington Street, Chicago, IL 60602

Mailing Address

Phone number

(312) 696-6000

Established

Firm type

Fiscal year end

# of Employees

323

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MORNINGSTAR WEALTH SERVICES (11/10/2025)

INSTITUTIONAL ADVISORY SERVICES (3/28/2025)

RETIREMENT SERVICES FOR INDIVIDUALS (3/28/2025)

METLIFE EXPERTSELECT PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	592,301
AUM (Assets Under Management)	$ 76,595,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David T. Rix

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Trevor Rix's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORNINGSTAR INVESTMENT SERVICES LLC

CAPTRUST

CAPFINANCIAL SECURITIES, LLC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

E*TRADE SECURITIES LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MORNINGSTAR INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/30/2012

Series 63

Date: 11/20/1992

SIE

Date: 10/13/2017

Series 7

Date: 6/2/1993

Series 6

Date: 1/6/1993

Current Firm

MORNINGSTAR INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MORNINGSTAR INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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